Transaction Reporting
As mentioned in Regulatory Roundup 36, the FSA released a (consultative) update of the Transaction Reporting User Pack (TRUP). The Regulator has now issued the finalised guidance (TRUP 3). The […] [...]
As mentioned in Regulatory Roundup 36, the FSA released a (consultative) update of the Transaction Reporting User Pack (TRUP). The Regulator has now issued the finalised guidance (TRUP 3). The […] [...]
As will be known, the FSA has always attached importance to sound corporate governance within authorised firms and has looked to Non-Executive Directors (NEDs) to provide a necessary degree of […] [...]
Currently the only authorised funds are authorised unit trusts (AUT) or ICVCs (which are OEICs that are authorised). The proposal is to create a new fund vehicle termed an ‘authorised […] [...]
Last August the FSA published a consultation paper (CP11/16) on the proposal for firms that hold client money and/or client assets to produce a CASS resolution pack (CRP) – see […] [...]
Changes to the Compensation rules are set out in CP12/7 (‘Financial Services Compensation Scheme: changes to the Compensation sourcebook’).The proposals are to enable the FSCS to handle claims in a […] [...]
The FSA’s Conduct Risk Outlook for 2012 was published in March. It may be recalled that the Regulator used to issue an annual Financial Risk Outlook until 2011 when, in […] [...]
The FSA Business Plan, which closely followed the publication of the FSA Risk Outlook (see separate article in this Regulatory Roundup), advises that the FSA’s supervision function moved to a […] [...]
Regulatory Roundup 37 contained an article on the publication of FSA guidance on financial crime (which can also be accessed via ‘The Full Handbook’ page on the FSA website under […] [...]
The FSA has published ‘Finalised guidance’ on financial promotions. ‘Financial Promotions , Fund Performance and Image Advertising’ is probably self-explanatory from its title. For most investment firms, the performance rules […] [...]
The FSA’s consultation paper CP11/21 ‘Regulatory fees and levies: Policy proposals for 2012/12’ was covered in Regulatory Roundup 36. The consultation paper included changes to the tariff base for ‘Advisory […] [...]
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